The Division of Investment Management (IM) works to support the SEC in its mission to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. IM regulates investment companies, variable insurance products, and federally registered investment advisers.
IM's Disclosure Review and Accounting Office (Disclosure Review Office #2) is seeking to fill one permanent Attorney-Adviser (Sr. Special Counsel) position in Washington, DC.
Conditions of Employment:
This position is open to U.S. Citizens.
You must possess a J.D. or LL.B Degree.
You must be an active member of the bar in good standing.
Typical duties include:
Coordinating the review of, and providing expertise regarding, Investment Company Act issues applicable to disclosure documents such as registration statements, proxies and other filings for registered investment companies, such as open-end funds, closed-end funds, and exchange-traded funds as well as business development companies.
Conducting legal and other research (such as data and prior filings) to support the development of staff guidance and interpretive positions and to inform staff and management of trends affecting the funds and filings reviewed in the Disclosure Review and Accounting Office.
Preparing responses to correspondence, filings, and other inquiries arising under the Investment Company Act and its rules.
Refer to the announcement on www.USAJOBS.gov for additional duties.
Qualifications
BASIC REQUIREMENT: All applicants must possess the following:
J.D. or LL.B. degree --AND--
Active membership of the bar in good standing in any state, territory of the United States, the District of Columbia, or the commonwealth of Puerto Rico. (Note: Proof of bar membership will be required before entry on duty.)
MINIMUM QUALIFICATION REQUIREMENT: In addition to meeting the basic requirement, applicants must also meet the minimum qualification requirement.
SK-16: Applicant must have four year(s) of post J.D. work experience independently identifying legal issues, providing legal analyses, providing legal solutions/recommendations, and preparing legal documents such as contracts, dispositions, pleadings and motions, three year(s) of which includes:
Providing legal advice; AND
Responding to complex and difficult questions; AND
Researching and providing legal interpretation of statutes, and implementing regulations; AND
Developing and preparing guidance on a variety of complex legal issues, interpretation and application of statues; AND
Interpreting and applying the provisions and providing sound advice regarding the federal securities laws (for example, the Investment Company Act, the Investment Advisers Act, the Securities Act and/or the Exchange Act).
*** The SEC offers enhanced pay and benefits plus the standard Federal benefits. Apply today! ***
The SEC is a bipartisan Commission consisting of up to five Commissioners appointed by the President and confirmed by the Senate. The President designates one Commissioner to serve as Chairman of the Commission. The SEC’s mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. Accordingly, as outlined in the SEC’s Strategic Plan, the SEC’s goals are to focus on the long-term interests of our Main Street investors; recognize significant developments and trends in our evolving capital markets and adjust our efforts to ensure we are effectively allocating our resources; and elevate the agency’s performance by enhancing our analytical capabilities and human capital development. The SEC oversees the nation’s securities markets and certain market participants, including broker-dealers, investment companies, investment advisers, clearing agencies, transfer agents, credit rating agencies, and securities exchanges, as well as organizations such as the Financial Industry Regulatory Authority, Municipal Securities Rulemaking Board, and the Public Company Accounting Oversight Board. The agency’s functional responsibilities are carried o...ut through five divisions and 25 offices, each of which is headquartered in Washington, DC. The SEC also has 11 regional offices located throughout the country.
The SEC is considered a mid-sized federal agency, with 4,350 employees at the start of FY20. The SEC offers a competitive compensation and benefits package. In additional to standard federal benefits (i.e., escalating annual and sick leave, shared premiums for health, dental, vision, and life Insurance), we offer additional benefits related to child and elder care support, student loan repayment, generous retirement matching, transportation subsidy and many more benefits to support employee growth and development in our workforce.
